I’m an insurance agent specializing in Medicare, and I’m looking to get my Series 6 and 63 this year so I can offer more options for people wanting to roll over their 401(k)s into something better suited for retirement. My plan is to add the Series 65 later this year or early 2026. Since this isn’t going to be my primary source of income, what would you suggest as the best way to get started with a broker/dealer?
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Hi, sounds like a good plan - just focus on your SIE first!
You can take the Series 63 and Series 65 on your own, without a sponsoring broker-dealer or investment adviser, but the Series 6 does require sponsorship.
While it is possible to run your own independent agency, most people end up signing with a larger firm and running a branch within that organzation. The biggest brand-name firms are probably the most likely to be a fit for your part-time situation. Firms like Edward Jones are essentially an umbrella on top of your agency, offering you support while you manage your own business. That could be a good place to start your search!